James is a lawyer in the Hogan Lovells Financial Institutions Group, advising business on UK and EU financial services law and regulation. He advises banks, asset managers, insurers and pension scheme trustees on a wide range of regulatory issues, with a particular focus on advising on FSMA and Handbook issues, and on current and pending EU legislation (MiFID, MIFID II, CRD IV, PRIIPs Regulation). James has also advised on market abuse and insider dealing rules, including the Market Abuse Regulation.
James regularly reviews terms and conditions for financial services and products, ranging from general banking terms and conditions, investment management agreements, custody agreements, to specific product terms. He also advises on marketing material for financial products, including rules on financial promotion, reviews compliance manuals for financial services firms, and liaises with overseas law firms to co-ordinate single-output advice on financial services matters.
Areas of Focus
Recently seconded as legal counsel for a leading wealth management firm in the City of London.
Seconded to the legal team of the Financial Services Authority (2006-7).